Regulatory Alerts2022-10-21
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Frequently Asked Questions on Investor Protection Measures in respect of Sale of Investment Products
The Securities and Futures Commission issued this document on October 21, 2022, to provide guidance on investor protection measures for the sale of investment products. It addresses frequently asked questions to clarify regulatory expectations for registered institutions regarding wealth management and securities. The circular serves as a reference for licensed corporations to ensure compliance with standards for client account opening and relationship management.
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